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Karen Fung

Pershing LLC

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About Karen Fung

Karen Fung is a registered representative with Pershing LLC in Jersey City, NJ. Karen has over 27 years of experience in the financial services industry. Karen holds Series 7, 52TO and SIE licenses. She also has a Series 63 license and is registered in New Jersey and New York. Karen's previous experience includes roles at Citigroup Global Markets Inc. and Harrisdirect LLC.

Firm Information

Karen Fung is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Karen Fung’s Registration & Firm History

NJ

08/18/2006 - Present

Pershing LLC (JERSEY CITY NJ)

NY

05/10/2006 - 07/28/2006

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NJ

06/02/1997 - 08/18/2005

HARRISDIRECT LLC (JERSEY CITY NJ)

NJ

10/17/1995 - 06/02/1997

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 10/12/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/25/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/26/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Karen Fung.
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